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Form No.

Format for Declaration of Self Certification for Corporate ARMFA who does not have subbrokers n appropriate letterhead of corporate bod! Date: AMF" Re#istration Number $ARN%& _______ From: ________________ ________________ ________________ ________________ ________________ * Landline: * Mobile: * Email: The Registrar and Transfer Agent of Mutual Funds (Please tic as a!!licable" #AM$ %ar&' #PL Escorts Fran lin Tem!leton Deutsche ($PL $undaram )*P Paribas F$L

$ub: Declaration of $elf+#ertification (D$#": Period_______ , Financial -ear ______ .This is to certif' that/ in the course of m',our business in the distribution of mutual fund !roducts during the !eriod , financial 'ear ended March 01/_____ (,2e ha&e adhered to the #ode of #onduct contained in $E)( circular no3 $E)(,(MD,#(R *o3 4,156764,899: dated August 85/ 899: and to the re;uirements as !rescribed in $E)(<s circular no3 MFD,#(R,89,80809,8998 dated *o&ember 84/ 8998 and the AMF( circular no: #(R,AR*+9:,94+9: dated =ul' 14/ 8994 in this regard3. (n com!liance 2ith $E)( #ircular no3 $E)(, (MD,#(R,*o36,174809,9: dated =une 09/ 899:/ (, 2e ha&e disclosed to in&estors all the commissions (in the form of trail commission or an' other mode" !a'able to me ,us for the different com!eting schemes of &arious mutual funds from amongst 2hich the scheme 2as recommended to our in&estors3 >e also certif' that 2e ha&e com!lied 2ith the %no2 -our Distributor (%-D" re;uirements as !er AMF( ?uidelines3 >e further certif' that 2e ha&e adhered to the $E)( and AMF( ?uidelines issued from time to time3 %indl' u!date this D$# on 'our records and 2ith all the Fund @ouses 2here 2e are em!anelled3 For _____________________ (firm name"

Authorised $ignator' (ies"

* Information of principal contact desirable for all important communication to be disseminated efficiently

Form No. A'


Format for Declaration of Self Certification for Corporate ARMFA who has sub-brokers
n appropriate letterhead of corporate bod! Date: From: AMF" Re#istration Number $ARN%& _______ ________________ ________________ ________________ ________________ ________________ * Landline: * Mobile: * Email:

The Registrar and Transfer Agent of Mutual Funds (Please tic as a!!licable" #AM$ %ar&' #PL Escorts

Fran lin Tem!leton Deutsche ($PL $undaram )*P Paribas F$L

$ub: Declaration of $elf+#ertification (D$#": Period_____ , Financial -ear ______ .This is to certif' that/ in the course of m',our business in the distribution of mutual fund !roducts during the !eriod , financial 'ear ended March 01/_____3 (,2e ha&e adhered to the #ode of #onduct contained in $E)( circular no3 $E)(,(MD,#(R *o3 4,156764,899: dated August 85/ 899: and to the re;uirements as !rescribed in $E)(<s circular no3 MFD,#(R,89,80809,8998 dated *o&ember 84/ 8998 and the AMF( circular no: #(R,AR*+9:,94+9: dated =ul' 14/ 8994 in this regard3 >e further certif' that 2e ha&e AMF( certified ARMFA em!anelled 2ith us acting as sub+bro ers for distribution of mutual funds and that the' ha&e in turn met all certification re;uirements in terms of the abo&e mentioned circulars from $E)(3 >e confirm that the necessar' D$# for the financial 'ear as abo&e has been submitted b' them to usA (n com!liance 2ith $E)( #ircular no3 $E)(, (MD,#(R,*o36,174809,9: dated =une 09/ 899:/ (, 2e ha&e disclosed to in&estors all the commissions (in the form of trail commission or an' other mode" !a'able to me ,us for the different com!eting schemes of &arious mutual funds from amongst 2hich the scheme 2as recommended to our in&estors3 >e also certif' that 2e ha&e com!lied 2ith the %no2 -our Distributor (%-D" re;uirements as !er AMF( ?uidelines3 >e further certif' that all the sub+bro ers em!anelled 2ith us ha&e com!lied 2ith %-D re;uirements3 >e further certif' that 2e ha&e adhered to the $E)( and AMF( ?uidelines issued from time to time3 %indl' u!date this D$# on 'our records and 2ith all the Fund @ouses 2here 2e are em!anelled3 For _____________________ (firm name"

Authorised $ignator' (ies"


* Information of principal contact desirable for all important communication to be disseminated efficiently

Form No. (
Format for Declaration of Self Certification b! the ARMFA who is sub-broker to be submitted to principal ARMFA n appropriate letterhead $if available% b! sub broker to be addressed to principal

ARMFA
Date: AMF" Re#istration Number $ARN%& _______ From: ________________ ________________ ________________ ________________ ________________ * Landline: * Mobile: * Email: _______________ (Princi!al ARMFA name" Address 1 Address 8 Address 0 Pin $ub: Declaration of $elf+#ertification (D$#": Period____ , Financial -ear ______ B(,2e as sub+bro ers to 'oursel&es for the !ur!ose of distribution of mutual funds hereb' declare that all !ro&isions made under the !rescribed code of conduct under $E)( circular no3 $E)(,(MD,#(R *o3 4,156764,899: dated August 85/ 899: and those !rescribed under $E)(<s circular no3 MFD,#(R,89,80809,8998 dated *o&ember 84/ 8998 and the AMF( circular no: #(R,AR*+9:,94+9: dated =ul' 14/ 8994 ha&e been adhered to3A (n com!liance 2ith $E)( #ircular no3 $E)(, (MD,#(R,*o36,174809,9: dated =une 09/ 899:/ (, 2e ha&e disclosed to in&estors all the commissions (in the form of trail commission or an' other mode" !a'able to me ,us for the different com!eting schemes of &arious mutual funds from amongst 2hich the scheme 2as recommended to our in&estors3 ( also certif' that ( ha&e com!lied 2ith the %no2 -our Distributor (%-D" re;uirements as !er AMF( ?uidelines3 ( further certif' that ( ha&e adhered to the $E)( and AMF( ?uidelines issued from time to time3 For _____________________ (firm name , indi&idual name"

Authorised $ignator' (ies" , $ignature of sub+bro er

* (nformation of !rinci!al contact , sub+bro er desirable for all im!ortant communication to be disseminated efficientl'

Note& )his declaration has to be stored b! the principal ARMFA for a period of at least * !ears

Form No. C

Format for Declaration of Self Certification for the ARMFA who is an individual+karta of ,-F n appropriate letterhead $if available% Date: AMF" Re#istration Number $ARN%& _______ From: ________________ ________________ ________________ ________________ ________________ * Landline: * Mobile: * Email:

The Registrar and Transfer Agent of Mutual Funds (Please tic as a!!licable" #AM$ %ar&' #PL Escorts

Fran lin Tem!leton Deutsche ($PL $undaram )*P Paribas F$L

$ub: Declaration of $elf+#ertification (D$#": Period , Financial -ear ______ .This is to certif' that/ in the course of m',our business in the distribution of mutual fund !roducts during the !eriod , financial 'ear ended March 01____3 (,2e ha&e adhered to the #ode of #onduct contained in $E)( circular no3 $E)(,(MD,#(R *o3 4,156764,899: dated August 85/ 899: and to the re;uirements as !rescribed in $E)(<s circular no3 MFD,#(R,89,80809,8998 dated *o&ember 84/ 8998 and the AMF( circular no3 #(R,AR*+9:,94+9: dated =ul' 14/ 8994 has been adhered to3A (n com!liance 2ith $E)( #ircular no3 $E)(, (MD,#(R,*o36,174809,9: dated =une 09/ 899:/ (, 2e ha&e disclosed to in&estors all the commissions (in the form of trail commission or an' other mode" !a'able to me ,us for the different com!eting schemes of &arious mutual funds from amongst 2hich the scheme 2as recommended to our in&estors3 (, >e also certif' that (, 2e ha&e com!lied 2ith the %no2 -our Distributor (%-D" re;uirements as !er AMF( ?uidelines3 (, >e further certif' that (, 2e ha&e adhered to the $E)( and AMF( ?uidelines issued from time to time3 %indl' u!date this D$# on 'our records and 2ith all the Fund @ouses 2here 2e are em!anelled3 For _____________________ (firm name"

Authorised $ignator' (ies"

* Information is desirable for all important communication to be disseminated efficiently